Leroy D. Miller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Leroy Davis Miller, who also goes by Roy Davis Miller, was a registered financial professional .
Leroy is a previously registered financial professional and started their career in finance in 1970. Leroy had worked at 7 firms and has passed the Series 63, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 1981 - May 8, 2000
PRUDENTIAL EQUITY GROUP, LLC
January 31, 1980 - March 14, 1986
UBS FINANCIAL SERVICES INC.
April 12, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
January 18, 1978 - April 1, 1978
LOEB PARTNERS
May 5, 1977 - January 20, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
February 7, 1974 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
March 9, 1970 - March 27, 1974
DUPONT WALSTON, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 7/8/1988
AMEX Put and Call ExamSeries 000
Date: 3/26/1965
General Securities Principal ExaminationSeries 1
Date: 3/26/1965
Registered Representative ExaminationCurrent Firm
PRUDENTIAL EQUITY GROUP, LLC
CRD#: 7471 / SEC#: , 8-27154
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLC | SHAREHOLDER DIRECT | |
| BAVARO, MARGUERITE ANNE | CHIEF OPERATIONS OFFICER | 722294 |
| DUGAN, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | 1604211 |
| RICE, JUDY ANN | MANAGER | 67215 |
| SHEA, MICHAEL JOSEPH | MANAGER, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 1014613 |
| STRANGFELD, JOHN ROBERT JR | MANAGER & CHAIRMAN OF THE BOARD | 1301812 |
Disclosures
| Regulatory Event | 288 |
| Civil Event | 1 |
| Arbitration | 579 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
